FEMA Preparedness Grants Manual FEMA Grant Programs Directorate February 2020 Preparedness Grants Manual | February 2020 1 Table of Contents Table of Contents 2 About the Federal Emergency Management Agency (FEMA) 7 Overview of FEMA 7 Overview of Preparedness Grant Programs 7 Homeland Security Grant Program (HSGP) 7 Tribal Homeland Security Grant Program (THSGP) 8 Nonprofit Security Grant Program (NSGP) 8 Transit Security Grant Program (TSGP) 8 Intercity Bus Security Grant Program (IBSGP) 8 Intercity Passenger Rail (IPR) Program – Amtrak 8 Port Security Grant Program (PSGP) 8 Emergency Management Performance Grant (EMPG) 8 Foreword 9 The National Preparedness Goal 9 Pre-Award Application and Submission 10 Pre-Submission Information 10 Agreeing to Terms and Conditions of the Award 10 Address to Request Application Package 11 Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application 11 Electronic Delivery 12 How to Register to Apply through Grants.gov 12 How to Submit an Initial Application to DHS/FEMA via Grants.gov 14 Submitting the Final Application in Non-Disaster Grants System (ND Grants) 15 Timely Receipt Requirements and Proof of Timely Submission 15 Content and Form of Application Submission 15 Intergovernmental Review 16 Funding Restrictions and Allowable Costs 16 Award Determination and Obligation 19 Allocations 19 Risk Methodology 19 Application Evaluation Criteria 19 Supplemental Financial Integrity Review 20 Review and Selection Process 20 Federal Award Administration Information 20 Notice of Award 20 Pass-Through Requirements 21 Preparedness Grants Manual | February 2020 2 Administrative and National Policy Requirements 21 Post-Award Management and Implementation 24 Reporting 24 Federal Financial Reporting Requirements 24 Federal Financial Report (FFR) 24 Financial Reporting Periods and Due Dates 24 Program Performance Reporting Requirements 24 Performance Progress Report (PPR) 24 Program Performance Reporting Periods and Due Dates 25 Additional Programmatic Reporting Requirements and Information 25 Biannual Strategy Implementation Report (BSIR) 25 Closeout Reporting Requirements 25 Administrative Closeout 26 Disclosing Information per 2 C.F.R. § 180.335 26 Reporting of Matters Related to Recipient Integrity and Performance 27 Single Audit Report 27 Additional Information 28 Monitoring and Oversight 28 Overview 28 Financial Monitoring 29 Programmatic Monitoring Overview and Approach 31 Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations 32 Conflicts of Interest in the Administration of Federal Awards or Subawards 32 Period of Performance (POP) Extensions 33 Procurement Integrity 33 Competition and Conflicts of Interest 34 Supply Schedules and Purchasing Programs 35 Record Retention 36 Actions to Address Noncompliance 37 Audits 38 Disability and Limited English Proficiency Integration 39 National Campaigns and Programs 41 Whole Community Preparedness 41 Active Shooter Preparedness 41 Soft Targets and Crowded Places 42 Community Lifelines 42 Program Appendix A: Homeland Security Grant Program (HSGP) A-1 Alignment of HSGP to the National Preparedness System A-1 Reporting on the Implementation of the National Preparedness System A-2 Identifying and Assessing Risk and Estimating Capability Requirements A-2 Building and Sustaining Capabilities A-2 NIMS Implementation A-2 Preparedness Grants Manual | February 2020 3 Planning to Deliver Capabilities A-3 Validating Capabilities A-3 Fusion Centers A-4 Continuity of Operations A-6 Governance A-7 Supplemental SHSP and UASI Guidance A-11 Supplemental Operation Stonegarden Grant (OPSG) Program Guidance A-13 OPSG Operational Guidance A-31 HSGP Supplemental Material A-37 Fusion Center Performance Measures A-39 Supplemental Emergency Communications Guidance A-41 Program Appendix B: Tribal Homeland Security Grant Program (THSGP) B-1 Alignment of THSGP to the National Preparedness System B-1 THSGP Funding Guidelines B-4 THSGP Priorities B-4 Allowable Costs B-4 THSGP Investment Modifications – Changes in Scope or Objective B-11 Program Appendix C: Nonprofit Security Grant Program (NSGP) C-1 NSGP Funding Guidelines C-1 NSGP Priorities C-1 Allowable Costs C-1 NSGP Investment Modifications – Changes in Scope or Objective C-5 Pass-Through Requirements C-5 DUNS/SAM Requirements for Recipients and Subrecipients C-6 Program Appendix D: Transit Security Grant Program (TSGP) D-1 Applicable Regulations D-1 Pre-Award Costs D-1 TSGP Priorities D-1 Allowable Direct Costs D-1 Allowable Indirect Costs D-11 Unallowable Costs D-11 Maintenance and Sustainment Costs D-11 Encouraged Use of Certain Products Produced in the United States D-11 Program Appendix E: Intercity Bus Security Grant Program (IBSGP) E-1 IBSGP Priorities E-1 Pre-Award Costs E-1 Allowable Direct Costs E-1 Indirect Costs (Facilities and Administration [F&A]) E-7 Unallowable Costs E-7 Other Allowable Costs E-8 Encouraged Use of Certain Products Produced in the United States E-9 Preparedness Grants Manual | February 2020 4 Program Appendix F: Intercity Passenger Rail (IPR) Program F-1 Applicable Regulations F-1 IPR Priorities F-1 Allowable Costs F-1 Operational Activities F-2 Funding Availability for OPacks F-3 Specific Guidance on Explosive Detection Canine Teams (EDCT) F-5 EDCT Submission Requirements F-5 Requirements for Small Unmanned Aircraft Systems F-6 Cybersecurity Projects F-7 Capital (Construction) Projects Guidance F-7 Training and Awareness Campaigns F-8 Management and Administration (M&A) F-10 Indirect Costs F-11 Unallowable Costs F-11 Maintenance and Sustainment Costs F-11 Encouraged Use of Certain Products Produced in the United States F-11 Program Appendix G: Port Security Grant Program (PSGP) G-1 Applicable Regulations G-1 PSGP Priorities G-1 Limitations on Funding G-1 Allowable Direct Costs G-1 Allowable Indirect Costs G-12 Unallowable Costs G-12 Maintenance and Sustainment Costs G-13 Port-Wide Risk Management Plans G-14 Sample Memorandum of Understanding/Agreement G-14 Program Appendix H: Emergency Management Performance Grant Program H-1 Alignment of EMPG to the National Preparedness System H-1 Reporting on the Implementation of the National Preparedness System H-1 Logistics Planning H-2 Evacuation Planning H-3 Disaster Housing Planning H-4 State-Led Disaster Housing Task Force H-4 Disaster Financial Management Policies and Procedures H-6 Additional Considerations H-9 Program Performance Reporting Requirements H-10 EMPG Funding Guidelines H-12 Allowable Costs H-12 Planning H-12 Continuity Planning H-14 Organization H-14 Equipment H-15 Preparedness Grants Manual | February 2020 5 Training H-16 Exercises H-19 Maintenance and Sustainment H-20 Unallowable Costs H-21 EMPG Work Plan H-22 Preparedness Grants Manual | February 2020 6 About the Federal Emergency Management Agency (FEMA) Overview of FEMA For more than 40 years, FEMA has helped people before, during, and after disasters. FEMA remains committed to building and developing a culture of preparedness across the country and unifying all levels of community and government into an integrated approach to emergency management. FEMA is part of a larger team of federal agencies, state, local, tribal, and territorial (SLTT) governments, and non- governmental partners that share responsibility for emergency management and national preparedness. Those closest to impacted areas are the true first responders during any emergency or disaster— individuals, families, neighbors, and local communities. FEMA’s role is to coordinate Federal resources to supplement SLTT capabilities. FEMA does this by coordinating through the levels of government, meaning that states and their local political subdivisions, tribes, and territories are our primary partners. Overview of Preparedness Grant Programs FEMA has the statutory authority to deliver numerous disaster and non-disaster financial assistance programs in support of FEMA’s mission, largely through grants and cooperative agreements. These programs account for a significant amount of the Federal funds for which FEMA is accountable. FEMA officials are responsible and accountable for the proper administration of these funds pursuant to Federal laws and regulations, Office of Management and Budget circulars, and Federal appropriations law principles. FEMA has developed this Manual to provide additional direction on grant policy and implementation for the following grant programs: Homeland Security Grant Program (HSGP) The HSGP includes a suite of risk-based grants to assist SLTT efforts in preventing, preparing for, protecting against, and responding to acts of terrorism. The grants under HSGP include: • State Homeland Security Program (SHSP) SHSP assists state, local, tribal, and territorial efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. • Urban Area Security Initiative (UASI) UASI assists high-threat, high-density Urban Areas efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against and respond to acts of terrorism. • Operation Stonegarden (OPSG) OPSG supports enhanced cooperation and coordination among Customs and Border Protection (CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States’ borders along routes of ingress/egress